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Wealth Manager · Mid-sized ($1B–$10B)
CRD 112360
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ADV data as of Mar 05, 2025
- Regulatory AUM
- $5.0B
- Discretionary
- $4.9B
- Clients
- 1,170
- Avg AUM / client
- $4.3M
- Accounts
- 3,056
- Employees
- 49
AUM over time
$1.0B
$5.0B
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 05, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 331 | $133M | 2.66% |
| High net worth individuals | 779 | $4.4B | 88.6% |
| Pension and profit sharing plans | 10 | $105M | 2.09% |
| Charitable organizations | 36 | $194M | 3.86% |
| State or municipal government entities | 1 | $2.2M | 0.04% |
| Other investment advisers | 1 | $18.2M | 0.36% |
| Corporations and other businesses | 11 | $59.6M | 1.19% |
| Other | 1 | $60.0M | 1.2% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $3.1B (61% of AUM) Mar 2025
- National Financial Services (Fidelity) $1.8B (36% of AUM) Mar 2025
- State Street $241M (11% of AUM) Jan 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2025.